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Regulation-S.com™
Directors, Management
& Advisors
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Advisors
The following summary represents specific candidates
for one or more responsibilities within the Regulation-S.com Exchange.
These persons have indicated to management that they are interested and
willing to come closer into operational or management roles in the exchange, subject
to the creation of a compensation package and responsibilities roster
acceptable to both parties.
Several additional candidates are in communication with the Exchange; however,
at this time their potential participation is, at their request, confidential.
Daniel E. Kornstein
Imprimis Group
Managing Director
Blaylock & Partners
Chief Financial Officer,
Director of Research
Senior Vice President of Administration
Garban Corporates LLC
(formerly Cedar Street Securities Corp.)
Chief Administrative Office
Cedar Street Securities Ltd.
Chief Administrative Office
Merrill Lynch Capital Markets
Senior Fixed Income Strategist
Michael D. Linsky, CFA
Imprimis Group
Managing Director
McDonald Investments
Managing Director
Brown Brothers Harriman & Company
Managing Director
Ira Victor
Republic Systems and Programming
Founder
Citibank N.A., New York
Assistant Vice President, Regional Training Officer
Kings County Medical Center
Director of Training
Downstate Medical School of New York and College of Health Related
Professions
Faculty |
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Regulation-S.com Affiliates Rules of Conduct |
Regulation-S.com affiliates Rules of Conduct
The Regulation-S.com Exchange™ requires that all affiliated Financial
Professionals, Executives, Sales Agents, Client Service Representatives and Associates
adhere to a strong code of ethical conduct. This Code provides principles to
which members are expected to adhere and advocate and it embodies rules regarding
individual and peer responsibilities, as well as responsibilities to employers,
the public, and other stakeholders.
Senior financial officers hold an important and elevated role in corporate governance
and are uniquely capable and empowered to ensure that all stakeholders' interests
are appropriately balanced, protected and preserved. Violations of The Regulation-S.com
Exchange Code of Ethics may subject the member to censure, suspension or expulsion
under procedural rules adopted by the Board of Governors. Expulsed persons are
never allowed back into the organisation on any level of association.
All members of The Regulation-S.com Exchange will:
- Act with honesty and integrity, avoiding actual or apparent conflicts of
interest in personal and professional relationships.
- Provide constituents with information that is accurate, complete, objective,
relevant, timely and understandable.
- Comply with applicable rules and regulations of federal, state, provincial,
and local governments, and other appropriate private and public regulatory
agencies.
- Act in good faith, responsibly, with due care, competence and diligence,
without misrepresenting material facts or allowing one's independent judgment
to be subordinated.
- Respect the confidentiality of information acquired in the course of one's
work except when authorised or otherwise legally obligated to disclose. Confidential
information acquired in the course of one's work will not be used for personal
advantage.
- Share knowledge and maintain skills important and relevant to constituents'
needs.
- Proactively promote ethical behaviour as a responsible partner among peers,
in the work environment and the community.
- Achieve responsible use of and control over all assets and resources employed
or entrusted.
- Report known or suspected violations of this Code in accordance with the
Regulation-S.com Rules of Procedure.
- Be accountable for adhering to this Code.
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Doing it Right
at Regulation-S.com |
| To protect you, the Investor, Regulation-S.com
insists that all companies on the Regulation-S.com Exchange adhere to
strict criteria:
- Fully reporting, meaning
that the company must disclose to the public any share issuances done
under Regulation S during the previous quarter; or
- Willing to issue a press
or public statement as to the issuance of shares
for a fundraising under Regulation S to the public by an acceptable
means - meaning accessible online to the general public, either
through a press release or by a statement on the company website.
- Current and 6 month
historical trading volume of USD $50,000.00 per day in trading volume calculated as ($ Share price)
x (# shares traded).
- Demonstrates and states,
with full corporate liability, the amount of dilution in
unregistered securities transactions. Regulation-S.com does not accept
clients with too high of a percentage of shares issued under the Regulation
S exemption, nor does it normally participate in issues of shares that
will account for more than 9.5% of the issuing companies total issued
and outstanding shares in that company.
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